the Politics of Secrecy

The University of Warwick

Department of Politics and International Studies

THE VIGILANT STATE:

THE POLITICS OF INTELLIGENCE AND SECRECY

PO382

Undergraduate Module Handbook, 2010-11

Lectures (Term 1)Wednesday 11.00 PS1.28

Lectures (Terms 2 & 3)Wednesday 11.00 LIB2

SeminarsThursday 10.00 S1.69

Thursday 11.00 S1.69

Thursday 2.00 S0.03

Thursday 4.00 S0.03

Module tutors: Richard J. Aldrich & Antony Field

Office hours: Tuesday 12.00-1.00 (Aldrich)

Wednesdays 12.00-1.00 (Aldrich)

Thursday 1.00-2.00 (Field)

Office BO.12

Tel: (024765) 74074

THE VIGILANT STATE:

THE POLITICS OF INTELLIGENCE AND SECRECY

Contents

Module aims and objectives 3

Assessment 4-5

Non-Assessed Essays 5

Assessed Essays 6-7

Lecture schedule 8

Seminar schedule 9

Approach to Reading and Key Material 10

Reading List 12

* The title of this module draws its inspiration from Bernard Porter, The Origins of the Vigilant State: The London Metropolitan Police Special Branch before the First World War (1991).

Module Overview

This module aims to investigate the nature of the 'vigilant state'. It focuses upon the apparatus developed by modern states to permit the surveillance of both international and domestic threats to their security. It will examine the major competing theories concerning the repeated failure of the vigilant state in the face of surprise attack at the international level, subjecting these to careful comparative analysis and reviewing the competing theoretical explanations. Consideration will be given to the role of domestic political monitoring within both democratic and authoritarian states. Attention will also be given to the problem of reconciling clandestine and/or covert methods, traditionally associated with operational efficiency, with the degree of transparency and accountability normally expected of the executive of a democratic state. The final section of the module will turn to look at the future development of some of these issues against a background of rapid technical change and globalisation.

In short, this module aims to introduce to the various debates that have characterised the use of secret service by the state in the international and domestic context. Although the terms 'espionage', 'intelligence' and 'secret service' are all central to the concerns of this module they have been deliberately avoided in the above module description given in the handbook. This is because this module aims to situate all these things in a broader governmental context, viewing them as aspects of international statecraft or as constitutional problems or as issues of civil rights. Accordingly, this module is as much about how policy-makers make use, or fail to make use, of intelligence, and how secret services might be regulated within a constitutional framework, as about the practice of secret service itself.

Aims - The module aims to:

develop an understanding of the origins and developments of intelligence services
explore the main theoretical approaches to intelligence and surveillance
offer an understanding of the issues surrounding intelligence failure
analyse key ethical and policy dilemmas and issues raised by CT intelligence
assess the contemporary debates about globalization and the future of intelligence

Objectives- On completion of this module, you should be able to:

demonstrate an appreciation of the historical context of intelligence
critically discuss the characteristics of the accountability frameworks
assess the strengths and weaknesses of the key theoretical debates governing the intelligence cycle
critically analyse, both orally and in writing, the current issues facing national and regional approaches to intelligence

Learning Methods

There will be a weekly lecture and a weekly seminar running through the academic year. This is a lecture and seminar-based module, entailing a 40 min lecture by Richard Aldrich on Wednesdays. This will be followed on Thursday by a seminar discussion of the previous week's topic, led by Antony Field, with student presentations and structured student interaction (in the form of group discussion, for example). Students are expected to complete the essential reading for each week and to actively contribute to the discussion. Students are further expected to engage in independent study, employing the reading lists and other sources to deepen their knowledge of the subject.

MODULE ASSESSMENT

The mode of assessment for this module is via one of three methods:

(a) Two assessed essays (each equating to 50% of your final mark).

(b) A 3 hour, 4 question, unseen exam paper

All students handing in assessed work should ensure that they are aware of the

relevant information in the Undergraduate Handbook.

ESSAY GUIDELINES

- for the assessed 5,000 word essay, you can either choose a title from the Assessed Essay title list, or alternatively you can negotiate your own title. I recommend the former.

- if you negotiate a title with your tutor you must submit a title form to the office by the Negotiated Title Deadline listed in the PAIS Undergraduate Handbook 2009/2010.

- do not produce fact-hogging 'term papers' on 'topics' as they will get low marks

- pay attention to identifying where the schools of thought are

- make sure you produce an essay that answers the question directly

- get it in 24 hrs before the deadline to allow for computer problems

- DON'T MISS THE DEADLINES

ESSAY QUESTIONS ARE LISTED HERE

Non-assessed Essays (Formative)

1,500 WORDS FOR 14 JANUARY - OPTIONAL - NOT COMPULSORY

1.Are we best defining intelligence largely in terms of "information" or in terms of "secrets"?

2.Could some small states now abandon secret collection through human and technical methods, in favour of harnessing abundant open sources?

3.Consider Michael Handel’s view that surprise attacks are best explained in terms of "paradoxes" ? Are these paradoxes impossible to resolve?

4. Why are leadaer typically poor consumers of intelligence?

5.Why has most sharing of intelligence traditionally occured through cautious bilateral relationships. Has this changed since 9/11?

6Reading Week

7 "9/11 was not primarily a failure of intelligence but a failure of counter-terrorism policy over the previous decade" Discuss

8Why have conspiratorial accounts of 9/11 proved to be prevalent in the United States and what can we learn from this?

9Given that Iraqi WMD was a familiar 'Cold War Type' intelligence problem of strategic weapons estimates, why did western agencies get this so wrong?

10How might we better reconcile effective counter-terrorist intelligence with the protection of civil liberties?

11"The paramilitaries in Northern Ireland were largely defeated thought the remorseless application of intelligence pressure." Discuss.

12 How has US counter-terrorist intelligence activity changed since January 2009?

13Was secret policing the defining characteristic of Stalin's Russia?

Assessed Essay Titles (Summative) 5,000 words

1. Is it is useful to talk about secret intelligence as a form of 'soft power', as defined by Joseph Nye? And does it need hard power to make it effective?

2Western states have spent most of their budgets on technical collection (sigint and imint) rather than humint and opint. Was this a mistake?

3Does warning of surprise attacks fail more because of bureaucratic obstacles or psychological obstacles to a smooth intelligence process?

4 How can intelligence analysts serve decision makers directly and yet be insulated from politicization by the policy process?

5What are the main hazards presented by intelligence co-operation between states?

6Reading Week

7Critically assess Amy Zegart's assertion that the intelligence failures that resulted in 9/11 reflect a refusal to adapt?

8How far was the Iraqi WMD fiasco in the USA a product of 'intelligence failure' or else a product of interference by policy-makers and politicians?

9Why does gathering intelligence in the counter-terrorist context present the liberal state with special problems and dilemmas?

10aExamine howUS counter-terrorist intelligence changed since 9/11 in pursuit of the 'new terrorism'.

10b How might current UK counter-terrorism intelligence be reformed and improved?

11 Propaganda and not state security agencies were the defining characteristic of Hitler's Germany and Stalin's Russia. Discuss.

12aAssess the effectiveness of the UK Intelligence and Security Committee.How might it be improved?

12b How might we go about extending accountability to intelligence operations involving more then one country?

13Is the increase in surveillance over the last ten years down to the “cult of counter-terrorism” or do all technological societies and knowledge-based economies naturally produce ‘states of surveillance’ ?

14 'Espionage can deploy ethical codes - but it can never be moral'. Discuss.

15aIf an ethical case can be made for shooting an armed bank robber to save lives, then a case can be made for torture during interrogation. Discuss.

15bWhat exactly is assassination and can an ethical case ever be made for its use as part of state policy?

17How far would you agree with W. Scott Lucas’s assertion that CIA cultural activities during the Cold War indicate ideological aggression?

18Use the Fortitude D-Day Deception Campaign to explain the role of intelligence in assisting wartime deception.

19aShould intelligence officers serve as clandestine peace brokers? What advantages and disadvantages do they have?

19b Does intelligence generate transparency and therefore produce a safer and more stable world? Or does it create risk?

[You may answer this with reference to the Cold War period, or to post 1989]

20 How should intelligence change to meet the myriad challenges of globalization?

21 We have a narrowly Anglo-American typology of intelligence. How might this be adapted to reflect intelligence ideas and practices elsewhere in the world?

MODULE TIMETABLE

LECTURES - WEDNESDAYS

A:INTRODUCTION

1What is secret intelligence? 6 Oct

B:FOREIGN INTELLIGENCE

2In the field: the gritty problems of collection 13 Oct

3Estimates and interpretation: the problems of analysis 20 Oct

4Intelligence at the top: producer-consumer linkage 27 Oct

5Liaison: the delicate diplomacy of intelligence 3 Nov

6 Reading Week: No Lectures 8-12 Nov

C:COUNTER-TERRORISM AND SECURITY

79/11 - What kind of failure 17 Nov

8Proliferation and WMD - the Iraq Case 24 Nov

9Intelligence and the liberal state: counter-terrorism 1 Dec

10Intelligence and counter-terrorism: the market state 8 Dec

11Intelligence and Tyranny: the non-democratic State 12 Jan

D:CONTROLLING INTELLIGENCE

12The problems of accountability and democratic control 19 Jan

13The problems of civil rights and intelligence26 Jan

14Ethics and Espionage 2 Feb

15Torture and Assassination 9 Feb

16Reading Week 14-19 Feb

E. INTELLIGENCE AND THE NEW WARFARE

17Covert Action 23 Feb

18 Intelligence and Deception 2 Mar

19Intelligence for NGOs and Peacekeeping 9 Mar

F:THE FUTURE OF INTELLIGENCE

20Intelligence in a globalising world 16 March

21Revision Q&A session 27 April

SEMINAR -THURSDAYS

A:INTRODUCTION

1Meet to assign seminars and roles 7 Oct

2What is secret intelligence? 14 Oct

B:FOREIGN INTELLIGENCE

3In the field: the gritty problems of collection 21 Oct

4Estimates and interpretation: the problems of analysis 28 Oct

5Intelligence at the top: producer-consumer linkage 4 Nov

6Reading Week: No Lectures 8-12 Nov

7Liaison: the delicate diplomacy of intelligence 18 Nov

C:COUNTER-TERRORISM AND SECURITY

89/11 - What kind of failure 25 Nov

9Proliferation and WMD - the Iraq Case 2 Dec

10Intelligence and the liberal state: counter-terrorism 9 Dec

11Intelligence and counter-terrorism: the market state 13 Jan

12Intelligence and Tyranny: the non-democratic state 20 Jan

D:CONTROLLING INTELLIGENCE

13The problems of accountability and democratic control 27 Jan

14The problems of civil rights and intelligence3 Feb

15Ethics and Espionage 10 Feb

16Reading Week 14-19 Feb

17Torture and Assassination 24 Feb

E. INTELLIGENCE AND THE NEW WARFARE

18Covert Action 3 Mar

19Intelligence and Deception 10 March

20Intelligence for NGOs and Peacekeeping 17 March

F:THE FUTURE OF INTELLIGENCE

21Intelligence in a globalising world 28 April

APPROACH TO READING & KEY MATERIAL

1. Quantity and Quality of Reading

The module text books. You are expected to read widely, but selectively. As a broad guideline, for most essays, semester-time or exam-time, it is sufficient to look at the two course text books, two additional books and four articles. There is a lot of reading on this list because different books address different essay titles under each topic heading, and also because I wish to ensure an ample supply of literature.

Please note that this is a new module at Warwick, confronting the Library with the problem of trying to acquire a lot of books that are now out of print. They have done wonders. They do not yet have everything on the bibliography - but they have secured quite a lot of material. If it is not yet there I have entered NIL - but new stuff is arriving all the time, so if the class mark is not added, that does not mean its not there.

This is a fast-moving subject, never more so than the last few years. Accordingly, journal articles are increasingly important. Warwick has everything we need here so if in doubt head for the journal articles. Many of the best ones are collected in the various edited collections/readers.

Subject to legal and operational requirements, copies of all core readings are available either in the Library Short Loan Collection (SLC), Learning Grid or online. If a core reading is not available in this manner, you should consult the Subject Librarian and your module tutor.

2. Case Studies

You may approach your essays in a variety of different ways. You may wish to write a broad generic essay (and this is a broad generic module) or you may wish to choose to answer a question by focusing upon one or a number of case studies. HOWEVER, YOU MUST BE CLEAR THAT CASE STUDIES IN THIS MODULE ARE INTENDED TO THROW LIGHT UPON GENERAL IDEAS AND PRINCIPLES, NOT VICE VERSA.

3. Module text book -

Five other six books/readers that overview well are available - >

* Peter Gill and Mark Pythian, Intelligence in an Insecure World (Cambridge: Polity 2006) UB 250.I6

* M. Herman, Intelligence Power in Peace and War (Cambridge: Cambridge University Press, 1996) & UB 250.H3

L. Johnson & J. Wirtz (eds.), Intelligence and National Security: The Secret World of Spies OUP UB 250.I6

M.M. Lowenthal, Intelligence: From Secrets to Policy (Third Edition -Washington DC: CQ Press, 2006) UB 271.U6

D Omand, Securing the State (Hurst/Columbia University Press, 2010)

A. Shulsky, Silent Warfare: Understanding the World of Intelligence (NY: Brasseys, 2nd edition 1993) UB 250.S4

5. Journals

The key journal is - INTELLIGENCE AND NATIONAL SECURITYabbreviated INS.

We are missing 1991-6, but the key material from these issues has kindly been scanned for us by the library, so this is not a problem.

Another useful journal is THE INTERNATIONAL JOURNAL OF INTELLIGENCE AND COUNTERINTELLIGENCE

6. Key Handbooks: The major edited collections of essays for this subject are:

a. Loch Johnson (ed.) Strategic Intelligence - 5 Volumes UB 250.S6385

b. Loch Johnson (ed.) Handbook of Intelligence Studies JC 842.H2

7. Coursework Support

As your module co-ordinator for the Politics element please contact me if you have any difficulties with the course or the course work. We are available to see you in Room BO.12 in Politics on Tues at 12, Wednesday at 12 or Thursday at 1.00 You can also contact me us by e-mail at or

8. Module Evaluation

Feedback and evaluation are crucial to the success of any module. We want students to have their say on Politics modules. If there are problems with book availability please raise it with the tutors for the module immediately.

A: INTRODUCTION

1What is intelligence?

Seminar paper questions

1.1 To what extent does the nature and value of 'intelligence' differ from 'information'?

1.2 Why has secret intelligence constituted a growth industry since 1945?

1.3 How far do you accept Michael Herman's contention that it is useful to talk about secret intelligence as a form of 'state power', akin to economic or military power?

1.4 How far do you accept Michael Warner's definition that "Intelligence is secret, state activity to understand or influence foreign entities." ?

Books - Core Reading

Andrew, Aldrich & Wark (eds), Secret Intelligence Chs.1&2 UB 250.S6

B. Berkowitz and A. Goodman, Strategic Intelligence for American National Security UB.250.B3

P. Gill, S. Marrin & M Pythian, Intelligence Theory: Key Questions and Debates Chs 2, 3, 4, 5. UB 250.I6

M. Herman, Intelligence Power, chs 1-3, 7, 21, UB 250.H3

L.K. Johnson & J. J. Wirtz, Intelligence and National Security: The Secret World of Spies UB 250.I6

L. Krizan, Intelligence Essentials for Everyone [a good short primer] UB 271.U6

Mark Lowenthal, Intelligence: From Secrets to Policy chapter 1. UB 271.U6

Books - Supplementary Reading

A. Dulles, The Craft of Intelligence [old but a good primer] UB 270.DB

J.R. Ferris, Intelligence and Strategy NIL

Peter Gill and Mark Pythian, Intelligence in and Insecure World, chapters 1 & 2. UB 270.G535

R. Godson, Intelligence Requirements, vols 1-4, UB 250.I6

Michael Herman, Intelligence Services in the Information Age UB 250.H47 chapter 1.

L. Johnson, Strategic Intelligence, Volume I. Understanding the Hidden Side of Government esp. chapters 1-3 UB 250.S6385 REF ONLY

R.V. Jones, Reflections on Intelligence NIL

J. Keegan, Intelligence in War, pp. 7-26, 321-52 NIL

S. Kent, Strategic Intelligence for American World Policy chapter 1 UB 250.K3

W. Laqueur, World of Secrets: The Uses and Limits of Intelligence pp.4-70 UB 271.U6

R.P. Pfaltzgraff et al (eds.), Intelligence Policy and National Security ch. 3. UB 250.I6

B. Porter, Plots and Paranoia (good on domestic security and high policing) NIL

Abram N. Shulsky and Gary J. Schmitt, Silent Warfare: chapter 1. UB 250.S4

G. F. Treverton, Seth G. Jones, Steven Boraz, Phillip Lipscy, Toward a Theory of Intelligence Workshop Report, RAND available at --

B. Westerfield, Inside the CIA's Private World, NIL Yale UP

Articles - Core Reading

Christopher Andrew, 'Intelligence, International Relations and "Under-theorisation"' in L.V. Scott & P.D. Jackson, (eds.), Understanding Intelligence in the Twenty-First Century: Journeys in Shadows, pp.29-41. [this book is also Intelligence and National Security, 20, 1 (2004)] UB 250.U53

P. Davies, 'Ideas of Intelligence: Divergent Concepts and National Institutions', Harvard International Review 24, 3 (2002): 62-66

L.K. Johnson, 'Preface to a Theory of Strategic Intelligence', International Journal of Intelligence and Counterintelligence 16, 4 (Winter 2003-2004): 638-663.

D. Kahn, 'An Historical Theory of Intelligence', INS 16, 3 (2001): 79-92.

D. Omand, 'Reflections on Secret Intelligence' in Peter Hennessy (ed.), The New Protective State pp.97-122. Also at -

L. Scott and P.D Jackson, 'Journeys in Shadows', Ch 1. in LV Scott and PD Jackson (eds.) Understanding Intelligence in the 21st Century [this book is also Intelligence and National Security, Vol. 20, No. 1 (Summer 2004)] UB 250.U53